DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H••• W••••• M•••••••••
Legal name I••••••••• • R••••••••• A•••••••• L••
Latest filing Jan 9, 2026
First filing on the tape Jun 20, 2024 · 6 filings
SEC status approved since Jul 23, 2024
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$139M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.3M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$139M as of Jan 9, 2026
Feb 17, 2025$118M then
HNW client RAUM$86.2M as of Jan 9, 2026
Feb 17, 2025$44.3M then
State-registered IARs (5.B.3)1 as of Jan 9, 2026
Feb 17, 20251 then
Employees (5.A)3 as of Jan 9, 2026
Feb 17, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $237,387derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $12.5M, 25 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.2M62%
- Individuals$52.4M38%
- Individual clients
- 169reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 584reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.5M for 25 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• H•••Certified Financial Planner | Murfreesboro, Tn | Aug 18, 2004 | 40 y | 1 |
| L••• A••• C•••• | Murfreesboro, Tn | Apr 2, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••• G•••••• H•••• to C••••••••• F•••••••• N••••••Sep 20, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• J••• H••• from S•• A•••••••• I•••Aug 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• M••••••• J••• · President & Chief Compliance Officercontrolsince 06/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Murfreesboro, Tn · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Jan 9, 2026HNW share of RAUM moved from 38.0% to 62.0% between the annual amendments of 2025-02-17 and 2026-01-09peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 600 to 584Jun 23, 2025 to Jan 9, 2026
- HNW clients · 23 to 33Jun 23, 2025 to Jan 9, 2026
- Individual clients · 222 to 169Jun 23, 2025 to Jan 9, 2026
- Assets in custody · $9.8M to $12.5MJun 23, 2025 to Jan 9, 2026
- Financial planning clients · 1-10 to 0Jun 23, 2025 to Jan 9, 2026
- Discretionary RAUM · $118M to $139MJun 23, 2025 to Jan 9, 2026
- HNW RAUM · $44.3M to $86.2MJun 23, 2025 to Jan 9, 2026
- Individual RAUM · $73.3M to $52.4MJun 23, 2025 to Jan 9, 2026
- RAUM · $118M to $139MJun 23, 2025 to Jan 9, 2026
- Assets in custody · $118M to $9.8MFeb 17, 2025 to Jun 23, 2025
- Financial planning clients · 1-10 to 1-10Feb 17, 2025 to Jun 23, 2025
- Accounts · 705 to 600Sep 20, 2024 to Feb 17, 2025
- HNW clients · 32 to 23Sep 20, 2024 to Feb 17, 2025
- Individual clients · 232 to 222Sep 20, 2024 to Feb 17, 2025
- Assets in custody · $15.2M to $118MSep 20, 2024 to Feb 17, 2025
- Discretionary RAUM · $128M to $118MSep 20, 2024 to Feb 17, 2025
- HNW RAUM · $56.9M to $44.3MSep 20, 2024 to Feb 17, 2025
- Individual RAUM · $71.0M to $73.3MSep 20, 2024 to Feb 17, 2025
- RAUM · $128M to $118MSep 20, 2024 to Feb 17, 2025
- Advisory employees · 2 to 1Aug 14, 2024 to Sep 20, 2024
- Employees · 4 to 3Aug 14, 2024 to Sep 20, 2024
- State-registered IARs · 2 to 1Aug 14, 2024 to Sep 20, 2024
- Assets in custody · $128M to $15.2MJun 20, 2024 to Aug 14, 2024
Signals
2 dated events
- J••• G•••••• H•••• left H••• W••••• M••••••••• for C••••••••• F•••••••• N•••••• (registered 2024-08-26)Sep 20, 2024 · Advisor changed firm · fact
- H••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 20, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 615-896-1181reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615 896-1181reportedpublic record, Form ADV, Jan 9, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026